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Securities Law

NIN 99/06 - Publication by Other CSA members of Lists of Non-Complying Registered Firms under National Instrument 33-106 [NIN - Rescinded]

Published Date: 1999-02-26
Effective Date: 1999-02-25

Some members of the Canadian Securities Administrators are publishing and making available on their website, a list of registered firms that have not made any filings in their jurisdiction under National Instrument 33-106 entitled "Year 2000 Preparation Reporting" (the "List").

The Commission is not publishing a List of such registered firms in British Columbia because each British Columbia registered firm has filed some materials under National Instrument 33-106. For information on Year 2000 preparation reporting filings by British Columbia registered firms, you may consult the Commission’s Year 2000 webpage at

For additional information on the Year 2000 preparation reporting requirements applicable to registered firms and the consequences of non-compliance, see NIN#98/65 entitled "Adoption of National Instrument 33-106 Year 2000 Preparation Reporting", published in the Weekly Summary of October 23, 1998, and Canadian Securities Administrators’ Staff Notice 33-301, published in the Weekly Summary of February 12, 1999, or visit the Commission’s Year 2000 webpage.

DATED at Vancouver, British Columbia, on February 25, 1999

Michael J. Watson
Executive Director